Office of Hearing Officers
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type |
Order No. |
|---|---|---|---|---|
| Mar 29, 2012 | 2010021303301 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| Oct 26, 2006 | CAF040058 | Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou | Disciplinary Decision | |
| May 3, 2002 | CAF010009 | Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber | Disciplinary Decision | |
| Jul 19, 2001 | C8A000059 | Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson | Disciplinary Decision | |
| Feb 7, 2019 | ARB180031 | Robert Jay Pincus | Expedited Decision | |
| Dec 1, 1999 | C11970032 | Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard | Disciplinary Decision | |
| Nov 6, 2017 | 2015048048801 | Hank M. Werner and Legend Securities, Inc. | Disciplinary Decision | |
| Nov 28, 2016 | 2013038770901 | Ricky R. Moore | Disciplinary Decision | |
| Dec 6, 2012 | FPI120012 | Hearing Panel Decision in Department of Enforcement v. Steven Barbot | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Apr 25, 2003 | C06020003 | Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms | Disciplinary Decision | |
| Jun 18, 2008 | 2005001919501 | Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan | Disciplinary Decision | |
| Apr 30, 2018 | 201404186800 | APPEALED: Dennis A. Mehringer, Jr. | Disciplinary Decision | |
| Jul 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| Sep 6, 2017 | 2014040476901 | APPEALED: C.L. King and Gregg Alan Miller | Disciplinary Decision | |
| Nov 5, 2013 | 2009019108901 | Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris | Disciplinary Decision | |
| Jul 12, 2007 | E9A2004048801 | Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly | Disciplinary Decision | |
| Dec 30, 2011 | 2005002244102 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| Jul 2, 2012 | 20070082049 | Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane | Disciplinary Decision | |
| Jun 26, 2000 | C10980008 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Jan 29, 2019 | 2014042606902 | APPEALED: Silver Leaf Partners, LLC | Disciplinary Decision | |
| Jan 14, 2005 | C10040025 | Hearing Panel Decision in Department of Enforcement vs. John Brigandi | Disciplinary Decision | |
| Apr 14, 2010 | 2007009403801 | Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson | Disciplinary Decision | |
| Dec 30, 2003 | C3A030017 | Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker | Disciplinary Decision | |
| Dec 29, 2003 | C8B030012 | Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko | Disciplinary Decision |